SAM Standard v4.10

1 software asset management (SAM) Standard Ver. June 18, 2014 Association of SAM Assessment & Certification software asset management Standard Ver. i Association of SAM Assessment & Certification Disclaimer and Usage Restrictions of software asset management (SAM) Standard Disclaimer: The Association of SAM Assessment & Certification (hereinafter referred to as SAMAC ) does not guarantee the following contents and accepts no liability, whether directly or indirectly, from a user or his organization, for the consequences arising from the use of SAM Standard . (1) Compliance to SAM Standard does not guarantee non-infringement of copyright, moral rights of the author, neighboring rights, etc., of the software being used, nor does it guarantee adherence to the copyright related laws or licensing agreements. (2) Compliance to SAM Standard does not guarantee adherence to tax laws and related laws. (3) The name, contents, and implementations of SAM Standard do not guarantee non-infringement of third-party s copyright, trademark rights, patent rights, utility model rights, and other intellectual property rights, nor do they guarantee adherence to the Unfair Competition Prevention Act and other related laws.

2 Usage Restrictions: SAM Standard can be used free of charge except as stated below. (1) SAM Standard and any portion of its copy are distributed, issued, provided, or sent to outside of the organization. (2) SAM Standard and any portion of its copy are duplicated for distribution, issuance, provision, or sending to outside of the organization. (3) SAM Standard and all or any portion of its copy are distributed, issued, provided, or sent for a fee. (4) SAM Standard and all or any portion of its copy are translated into a foreign language. (5) SAM Standard and all or any portion of its copy are adapted or altered. (6) SAM Standard and all or any portion of its copy are published or distributed, issued, provided, or sent as an attachment or appendix to a publication. (7) SAM Standard and all or any portion of its copy are publicly transmitted or uploaded to outside of the organization. (8) SAM Standard and all or any portion of its copy are publicly transmitted or uploaded inside the organization.

3 software asset management Standard Ver. ii Association of SAM Assessment & Certification Introduction 1. About SAMAC and the software asset management (SAM) Standard The operations of SAMAC, a nonprofit organization established to drive the implementation of proper software asset management practices, are listed below: Operations to evaluate the maturity level to which software asset management has been adopted in organizations such as corporations and public institutions (evaluation of maturity level) Operations such as providing training, certification criteria, and other services for organizations and consultants that provide support for establishing SAM structures, and development in areas such as the certification and the certification management Various operations as needed for the appropriate adoption of software asset management SAMAC also establishes and operates software asset management standards and assessment criteria for use in evaluation of software asset management .

4 This software asset management (SAM) Standard has been established within the framework of these standards and criteria. SAMAC succeeded activity of the software asset management Consortium (SAMCon), which created SAM Standard originally, and these standards are developing conforming to ISO/IEC19770 and related JIS Standard . software asset management Standard Ver. iii Association of SAM Assessment & Certification 2. Members of the working group responsible for establishment of the software asset management (SAM) Standard Ver. software asset management (SAM) Standard Ver. was established by the SAMAC standards Working Group. The work of establishing the Standard was further divided into two teams: the Editorial Team and the Review Team. Members of each team are listed below. SAMAC standards Working Group Working Group Leader Jinichi Tamura (Deloitte Touche Tohmatsu LLC) Development Team Jintaro Shinoda (Cross Beat Co., Ltd.)

5 Atsushi Shimada (Deloitte Touche Tohmatsu LLC) Hisakazu Tanaka (Uchida Yoko Co., Ltd.) Nobuyuki Teshima (Microsoft Japan Co., Ltd.) Tetsuya Yoshida (Kanematsu Electronics Ltd.) Review Team Yoshihiro Onuma (Deloitte Touche Tohmatsu LLC) Tatsuya Matsumura (MOTEX Inc.) software asset management Standard Ver. iv Association of SAM Assessment & Certification Table of Contents I. ABOUT software asset management (SAM) Standard .. 1 1. Background .. 1 2. Necessity and Objectives of SAM .. 2 3. management Standard System .. 3 4. management Standard Structure .. 4 5. Concepts of the Use of management standards .. 5 6. SAM as management System .. 6 7. Definition of Terms .. 8 8. Establishment and Revision History .. 9 II. software asset management (SAM) Standard .. 10 1. Policy: Establishment of Policy and Regulation .. 10 2. Systems: Establishment of a Managerial System .. 16 3. Competence: Establishment and Maintenance of Competence in SAM .. 19 4. Ownership: Confirmation and Verification of Licenses Owned.

6 21 5. Implement n: Confirmation of software and Related asset Implemented .. 27 6. Cost Optimization .. 30 7. Security: Compliance with Security Requirements .. 31 8. Operations management : SAM Operations management Processes .. 32 9. Life Cycle Processes and Interfaces .. 35 software asset management Standard 1 Association of SAM Assessment & Certification I. About software asset management (SAM) Standard 1. Background The software asset management Consortium (SAMCon) was launched on May 20, 2002 for the purpose of organizing various issues and confusions in software asset management in Japan and introducing software asset management to enhance a proper IT environment in an organization. Most of organizations have not been introduced appropriate software asset management in place, although the environments surrounding organizations have changed significantly, such as an increase in penetration rates of PCs, increasing use of networks and Open system. One of the reasons for this is that has not been established SAM framework.

7 Therefore, SAMCon has put an effort into establishment of SAM Standard to provide a management guideline for organizations interested in introducing appropriate SAM ( software asset management Standard on October 31, 2002). After that, software asset management Assessment Criteria was established to know the maturity level of SAM and set SAM goals ( software asset management Assessment Criteria on November 19, 2013). In 2006, ISO/IEC 19770-1, the international Standard for SAM, which was established and published jointly by the International Organization for Standardization (ISO) and International Electro technical Commission (IEC) . SAM Standard and Assessment Criteria have been revised by reference to the ISO in 2007 and 2008. ( SAM Standard on November 27, 2007 and SAM Evaluation Standard on April 17, 2008). In 2010, SAMAC took over SAMCon s activities and SAMCon was dissolved. SAMAC will develop a new software asset management standards and software asset management evaluation criteria with consideration of the environmental changes and the latest circumstances etc.

8 Surrounding the software asset management based on the SAMCon's criteria. Since SAMAC succeeded SAMCon s SAM Standard , which had a certain level of market penetration, SAMAC s new Standard was named to avoid confusion. Detailed revisions, and , were made to Ver3. Due to the revision and publication of ISO/IEC19770-1 in June 2012, SAMAC reviewed its standards from the overall perspective, such as consistency with the revised ISO/IEC 19770-1, operation status with Ver3, and current situations of the various environments surrounding SAM, and came up with a revision software asset management Standard 2 Association of SAM Assessment & Certification 2. Necessity and Objectives of SAM With the progress of IT development, software assets have become indispensable to the operations of organizations and businesses. Lack of proper management may impact a corporation significantly. In other words, there are a lot of inherent risk factors in terms of software assets in an organization.

9 In particular, the following are the conceivable risks. Accountability cannot be fulfilled. Assets may become unavailable if they are not maintained properly. Legal issues, such as being sued for copyright infringement, may surface and result in damages such as compensation. Legal issues due to the lack of internal management system may surface and result in penalties. Public trust may be lost due to the occurrence of legal issues. Extra costs may be generated by inefficiencies or by purchasing licenses in excess. Appropriate service in terms of the software use cannot be provided and maintained. Security issues may be generated due to the use of inappropriate versions and settings of software . Competitive advantage may be lost or reduced due to inability to use software effectively. Given the growing importance of risk management in recent years, it is necessary for an organization to implement SAM from a variety of perspectives in order to respond to various risks.

10 Although the levels to be achieved at each organization with regard to the management objectives should be considered based on its own factors, objectives in this management Standard are organized into 3 main objectives, with an addition of competitive advantage, etc., to the 4 existing objectives, including establishment of accountability, avoidance of legal risks, response to security issues, and TCO reductions, to be consistent with the international Standard . management Objectives Risk management objectives Accountability asset preservation Avoidance of legal risks Response to security issues Ensuring availability, etc. Cost management objectives TCOP Reduction1, etc. Competitive advantage objectives Effective applications of software , etc. 1 TCO (Total Cost of Ownership): The total cost of owning the system throughout its life cycle, including purchasing, introduction, maintenance and management , and disposal.